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David Adams of Ameriprise Financial Services, LLC And Formerly With Sagepoint Financial Has 2 Customer Complaints For Alleged Broker Misconduct

Who is David Adams of Ameriprise Financial Services, LLC?

David Adams (CRD #1575083) who is currently registered with Ameriprise Financial Services, LLC and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, David Adams was associated with Sagepoint Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

David Adams Customer Complaints

David Adams has been the subject of 2 customer complaints customer complaints that we know about, with one of those complaints filed in the last year to recover investment losses. There is currently one pending customer complaint filed against David Adams’ former employer Sagepoint Financial for investment losses caused by the alleged misconduct.

Allegations Against David Adams

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Claimant alleges that David Adams made an investment in GPB holdings that is unsuitable.
  • Policyowner alleges that he was led to believe by David Adams that new policy would be the same as whole life and has been trying to reduce the face amount of the policy.

David Adams Red Flags & Your Rights As An Investor

Of course, David Adams did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Adams at Ameriprise Financial Services, LLC and Sagepoint Financial on alert to review carefully the activity and performance of their accounts and question whether David Adams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, LLC and Sagepoint Financial also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Ameriprise Financial Services, LLC And Sagepoint Financial Due To David Adams

If you have questions about Ameriprise Financial Services, LLC, Sagepoint Financial, and/or David Adams and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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